Securities Operations Advisory Group Content

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Securities Operations Advisory Committee

The primary objective of SOAC is to provide advice and input to the Institute on current regulatory and industry initiatives affecting portfolio securities operations for mutual fund members.
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Memo#
36004

ICI Cyber Incident Tabletop Exercise 2024 After-Action Report

[36004] January 30, 2025 TO: ICI Members Chief Compliance Officer Committee Chief Information Security Officer Committee Chief Risk Officer Committee Global Information Security Officer Committee - London Global Information Security Officer Committee - Tokyo Operational Resiliency...
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White Paper

ICI Cyber Industry Tabletop Exercise 2024: After-Action Report

The asset management industry faces an escalating battle against cybercriminals employing increasingly sophisticated tactics. From state-sponsored attacks to ransomware-as-a-service (RaaS) platforms enabling low-skilled criminal infiltrations, the threat landscape is more complex than...
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Memo#
35997

SEC Publishes Staff Accounting Bulletin No. 122; Rescinds SAB 121

On January 23, 2025, the SEC published Staff Accounting Bulletin No. 122 (SAB 122)[1] which rescinds the interpretive guidance included in Section FF of Topic 5 (Topic 5.FF) in the Staff Accounting Bulletin Series entitled Accounting for Obligations to Safeguard Crypto-Assets an...
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Memo#
35917

FSB Consultation on Format for Incident Reporting Exchange

On 17 October, the Financial Stability Board (FSB) published a consultation report on a Format for Incident Reporting Exchange (FIRE). Responses to the Consultation are requested by 19 December 2024 and ICI plans to submit a response.
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Memo#
35911

ICI Response to UK Accelerated Settlement Consultation

The Investment Company Institute submitted its views on the Accelerated Settlement Taskforce Technical Group’s draft recommendations and report. The Report sets forth draft operational recommendations to facilitate the UK’s move to shorten its settlement cycle, focusing on the...